Financial Industry: Cybersecurity is a Top Priority for Protecting Customers

Release Date: July 16, 2014 Contact: Alison Hawkins (FSR), 202.589.2427, Alison.Hawkins@FSRoundtable.org Liz Pierce (SIFMA), 212.313.1173, lpierce@sifma.org Laena Fallon (FSF), 202.457.8765, laena.fallon@financialservicesforum.org Sean Oblack (TCH), 202.649.4629, sean.oblack@theclearinghouse.org John Hall (ABA), 202.663.5473, jhall@aba.com Financial … Continue reading Financial Industry: Cybersecurity is a Top Priority for Protecting Customers

SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution

Regulatory Notice 14-27 SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution Effective Date: July 28, 2014 … Continue reading SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution

FINRA Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

SR-FINRA-2014-028 Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission … Continue reading FINRA Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator

MSRB 2014 Annual Report

MSRB PUBLISHES 2014 ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTSAlexandria, VA – The Municipal Securities Rulemaking Board (MSRB) today published its 2014 Annual Report, which highlights important advances in municipal advisor regulation, enhancements to … Continue reading MSRB 2014 Annual Report

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